Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ...U.S. Government Printing Office, 1989 |
도서 본문에서
100개의 결과 중 1 - 5개
5 페이지
... contain such other information as the Commission , by rules or regula- tions deemed necessary or appropriate in the public interest and for the protection of investors , and subject to such terms and conditions as may be prescribed ...
... contain such other information as the Commission , by rules or regula- tions deemed necessary or appropriate in the public interest and for the protection of investors , and subject to such terms and conditions as may be prescribed ...
6 페이지
... contained at : 7 U.S.C. 1932 ( d ) ( 6 ) ; 12 U.S.C. 1455 , 1717 , 1719 , 1723c ; 15 U.S.C. 77c , note ; 20 U.S.C. 1087-2 , 1087hh ; 22 U.S.C. 283 ( h ) , 285h , 286k - 1 , 290i - 9 ; 43 U.S.C. 1625 ; and 45 U.S.C. 720. [ Printed in ...
... contained at : 7 U.S.C. 1932 ( d ) ( 6 ) ; 12 U.S.C. 1455 , 1717 , 1719 , 1723c ; 15 U.S.C. 77c , note ; 20 U.S.C. 1087-2 , 1087hh ; 22 U.S.C. 283 ( h ) , 285h , 286k - 1 , 290i - 9 ; 43 U.S.C. 1625 ; and 45 U.S.C. 720. [ Printed in ...
10 페이지
... contained at 11 U.S.C. 1145. [ Printed in appendix to this volume . ] 15 But see section 14 ( d ) of the Investment Company Act of 1940 , infra . ( b ) the purchaser shall pay cash either at Sec . 4 10 SECURITIES ACT OF 1933.
... contained at 11 U.S.C. 1145. [ Printed in appendix to this volume . ] 15 But see section 14 ( d ) of the Investment Company Act of 1940 , infra . ( b ) the purchaser shall pay cash either at Sec . 4 10 SECURITIES ACT OF 1933.
11 페이지
... contained in subparagraphs ( A ) ( 1 ) ( a ) through ( c ) are satisfied . ( 6 ) transactions involving offers or sales by an issuer solely to one or more accredited investors , if the aggregate offering price of an issue of securities ...
... contained in subparagraphs ( A ) ( 1 ) ( a ) through ( c ) are satisfied . ( 6 ) transactions involving offers or sales by an issuer solely to one or more accredited investors , if the aggregate offering price of an issue of securities ...
13 페이지
... contained in or filed with any registration statement shall be made available to the public under such regula- tions ... contain the information , and be ac- companied by the documents , specified in Schedule A , and when re- lating to a ...
... contained in or filed with any registration statement shall be made available to the public under such regula- tions ... contain the information , and be ac- companied by the documents , specified in Schedule A , and when re- lating to a ...
기타 출판본 - 모두 보기
자주 나오는 단어 및 구문
amount application appropriate regulatory agency assets authority bank Board broker or dealer business development company centum certificate clearing agency Commis Commission Commodity Exchange Act contract corporation court curities debtor determine directly or indirectly directors effect employee exempt face-amount certificate company Federal Federal Reserve System filed government securities broker holding company indenture securities interstate commerce investment adviser issuer mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer outstanding paragraph participant payment person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rules and regulations rules or regulations secu Securities Act securities issued security holders self-regulatory organization sion SIPC specified suant subparagraph subsection term tion transactions transfer agent trustee unit investment trust United States Code unlawful unless violation voting securities
인기 인용구
1 페이지 - ... security", or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
392 페이지 - Treasury is authorized and directed to purchase any notes and other obligations issued hereunder and for that purpose he is authorized to use as a public debt transaction the proceeds from the sale of any securities issued under the Second Liberty Bond Act...
13 페이지 - If either party shall apply to the court for leave to adduce additional evidence and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for...
512 페이지 - Whoever, having devised or intending to devise any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent pretenses, representations, or promises...
452 페이지 - Every party shall have the right to present his case or defense by oral or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination as may be required for a full and true disclosure of the facts.
519 페이지 - States, and such guaranty shall be expressed on the face thereof, and such bonds shall be lawful investments, and may be accepted as security for all fiduciary, trust, and public funds, the investment or deposit of which shall be under the authority or control of the United States or any officer or officers thereof.
149 페이지 - Territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices, and upon a proper showing a permanent or temporary injunction or restraining order shall be; granted without bond.
171 페이지 - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof. All process in any such case may be served in the judicial district whereof such person is an inhabitant or wherever he may be found.
421 페이지 - Each agency, in accordance with published rules, shall make available for public inspection and copying — (A) final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases; (B) those statements of policy and interpretations which have been adopted by the agency and are not published in the Federal Register...
69 페이지 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange...